Determine Your Professional / Non-Professional Status
Definition of a non-professional -- A non-professional user uses the information provided for personal use only.Definition of a Professional -- A professional user is associated with a financial institution or works at an SEC-registered institution. Pro users: Please call 800.815.8256 to register for eSignal.
Still unsure? Read below for a more detailed explanation of non-professional and professional users.
Determine Your Professional / Non-Professional Status
You are a professional if you meet any one of the following criteria for the entire term of your subscription. If you are a professional, you must sign further agreements and are subject to the appropriate additional exchange fee structure:
| 1. | You are subscribing on behalf of a firm, corporation, partnership, trust or association. |
| 2. | You use the information in connection with any trade or business activities and not for personal investment. |
| 3. | You plan to furnish the information to any other person(s). |
| 4. | You are a securities broker-dealer, registered representative, investment advisor, investment banker, futures commission merchant, commodities introducing broker or commodity trading advisor, money manager, member of the Securities Exchange or Association or Futures Contract market, or any owner, partner, or associated person of the foregoing. |
| 5. | You are employed by a bank or an insurance company or an affiliate of either to perform functions related to securities or commodity futures investment or trading activity. |
You are a non-professional investor if you do not meet any of the criteria outlined above.
Important: The information provided on the Personal Data Sheet may be examined by the exchanges. Professionals who identify themselves as non-professionals risk liability for all uncollected professional exchange fees, may have their data rights revoked and are in violation of federal law. The subscriber assumes all liability for declaring status as a professional or non-professional and will be held accountable for all applicable penalties and / or exchange fees.